Termination and Form U5 Counsel
The LawTV/Video Bolt Video 14: Assembling the Right Legal Team for Your M&A… Read More
Four P’s of the Breakaway and Transition Process
Among the most notable workplace trends in recent years has been the growing number of financial advisors seeking to breakaway and transition their careers. To many, the allure of joining a registered investment advisory (RIA) firm or launching a new RIA is the desire for greater independence and increased compensation.
Business Transitions: Why Specialized Legal Counsel Matters
Much in the same way clients depend on your proven expertise to help meet their investment goals, advisors should seek and rely on the value that only specialized legal counsel can provide when mulling the business transition to a new firm or the start of a new business.
What You Need to Know About M&As and Business Transitions
CEO Michelle Jacko’s article, What You Need to Know About M&As and Business Transitions, was published in the February 2021 issue of Lawyer Monthly Magazine.… Read More
Navigating a Successful Merger or Acquisition
The LawTV Video 4: Navigating a Successful Merger or Acquisition… Read More
What Transitioning Advisors Need to Know About Broker Protocol
Jacko Law Group, PC (“JLG”) continues to see a high volume of financial advisors transitioning from one broker-dealer or registered investment advisory firm to another. When advisors[1] change firms in the heavily-regulated financial industry, they and the firms they are joining must understand federal and state laws, as well as contractual limitations and how those considerations will factor in to the transition process.… Read More
What to Know For Your Business Transition
The LawTV Video 2: What to Know For Your Business Transition… Read More
What to Know For Your Business Transition
Whether it’s transitioning or breaking away, things like legal risks, business factors, and regulatory concerns, must be handled with care. Let our experienced team help.
Top 3 Considerations During the Breakaway & Transition Process
In recent years, there has been a considerable increase in the number of financial advisors who are looking to break-away and transition to careers with registered investment advisory firms (“RIAs”) or even launching their own RIA seeking more independence, control, growth opportunities, and increased compensation.
The Importance of Succession Planning
I think most of us would agree over the past three months we have all come to expect the unexpected. In our September 2019 Legal Risk Management Tip, we discussed the importance for smaller financial industry firms to consider succession … Read More